NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Seref Ulug Guner Claimant(B) vs. 87-02703 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Seref Ulug Guner alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. misrepresented facts to Claimant and purchased long term bonds when Claimant had requested an investment

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Blinder, Robinson & Co., Inc. Clairoant(s) vs. 87-02693 Onofrio Olivieri Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Blinder, Robinson & Co., Inc. alleged that Respondent Onofrio Olivieri breached his employment contract with Claimant. Additionally Blinder, Robinson & Co., Inc. alleged that they have incurred significant expens

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Karen J. Morris Claimant vs. Integrated Resources Inc. Richard Edelman Respondent Award 87-02664 The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in a submission to Arbitration signed by the Parties on December 4, 1987, March 25, 1988, and April 5,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between REZA AND AZITA SHEYBANI Claimants v. ) Case No. 87-02662 FIRST COMMERCE INVESTMENT SERVICE, INC. ) AND NATIONAL FINANCIAL SERVICES ) CORPORATION ) Respondents ) CASE SUMMARY Claimants, Reza and Azita F. Sheybani ("Sheybanis") alleged that First Commerce Investment Services, Inc. ("First Commerce") and National Financial Services Corporation ("National") (F

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Eunice Combs Stevens Stephen Combs Claimants vs. Shearson Lehman Mutton, Inc. Stephen Colantuno Michael Neft Carol Morris Respondents Case #87-02657 AWARD CASE SUMMARY Claimants allege that Respondents improperly transferred funds from her accounts, and from a joint account with her son Stephen Combs, to her husband Stanford Stevens.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Mel Hyman ) Claimant ) ) Case #87-02655 vs. ) Award Brooks, Weinger, Robbins & Leeds, Inc. } ) Respondents ) CASE SUMMARY Claimant alleges Respondents made misrepresentations involving the initial price offering for the purchase of 222,222 units in Uniclub, Inc. Respondents deny any misrepresentations and assert Claimant has failed to mitiga

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Among ) Ruth D. Kittell, ) Claimant ) Case #87-02648 vs. ) Award Prudential-Bache Securities, Inc., and ) Michael Chrys, ) Respondents ) CASE SUMMARY Claimant, Ruth D. Kittell, alleged that Respondent, Michael C. Chrys, failed to disclose the risks inherent in dealing with call options and other securities trading that he engaged in for Claimant's account. He a

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Keith T. Abood vs. Claimant James Porz Respondent CASE 187-02625 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 16, 1987, Claimant Keith T. Abood alleged that Respondent James Porz, an account executive with Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"), misrepresented to h

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) Sally L. Lowe Bifarella Claimant ) ) AWARD vs. ) CASE NO. 87-02613 A. Hunter Land, PaineWebber, Inc., Respondents ) and Merrill Lynch Money Markets, ) Inc. as successor of A. G. Becker, Inc. ) SUMMARY OF ISSUES This case was filed on December 15, 1987. Claimant alleged the following: The Sally L. Lowe Family Trust ("Lowe Trust") was created in July 1968 w

NASD Arbitration No. 93-02042 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between N^ame of Claimant (s) Evelyn Hansten Name of Respondent (s) Scares Financial Group, Inc. Gregory Soares REPRESENTATION For Claimant: Irwin Stein, Investors Recovery Service, Novato, California For Respondent Soares Financial Group, Inc. : No Appearance CASE Statement of Claim filed: May 19, 19